Information technology governance and controls methods and apparatuses

ABSTRACT

Embodiments of the present invention provide methods and systems for automated change audit of an enterprise&#39;s IT infrastructure, including independent detection of changes, reconciliation of detected changes and independent reporting, to effectuate a triad of controls on managing changes within the IT infrastructure, preventive controls, detective controls and corrective controls.

CROSS REFERENCE TO RELATED APPLICATIONS

The present application is a continuation of and claims priority to U.S.Provisional Patent Application No. 60/706,938, filed Aug. 9, 2005,entitled “Information Technology Governance and Controls,” the entiredisclosure of which is hereby incorporated by reference in its entirety.

TECHNICAL FIELD

Embodiments of the present invention relate to the field of controllinginformation technology infrastructure, and more particularly, topreventive, detective and corrective control of information technologyinfrastructure of an enterprise, including proving existence and/oreffectiveness of the control.

BACKGROUND

In virtually every industry, the success of an organization isinextricably linked to the reliability, availability and security of itsInformation Technology (IT). Consequently, IT management must identifyand analyze the relevant risks facing its production environment andthen put controls in place to prevent, detect and correct for them. Notonly are these controls required for effective management, they are alsogood for business and fundamental to meeting regulatory compliancerequirements.

Unauthorized access due to security breaches is a high-profile risk.Hackers outside the network, or more likely, employees or contractorswith mean motive and opportunity, manage to bypass or defeat securitydefenses and make malicious changes to software files and systemconfigurations. These unauthorized changes can have dire consequences,such as financial loss, disruptions to IT operations, and negativepublic perception.

Although security often gets the spotlight, the much greater risks tothe organization are system reliability and availability issues. Garnerasserts that “80 percent of unplanned downtime is caused by people andprocess issues, including poor change management practices, while theremainder is caused by technology failure and disasters.” IDC citessimilar findings that indicate that operator error is the single largestsource of outages causing nearly 60 percent of overall infrastructuredowntime. Many IT organizations, in the spirit of being nimble andresponse to their customers, are actually putting themselves at risk inthe everyday process of making changes to their own systems.

If industry analysts are correct, and practical experience certainlyindicates that they are, the greatest point of leverage for increasingthe overall reliability, availability and security of informationsystems, and addressing related compliance requirements, is controllingchange across the IT infrastructure.

BRIEF DESCRIPTION OF THE DRAWINGS

Embodiments of the present invention will be readily understood by thefollowing detailed description in conjunction with the accompanyingdrawings. To facilitate this description, like reference numeralsdesignate like structural elements. Embodiments of the invention areillustrated by way of example and not by way of limitation in thefigures of the accompanying drawings.

FIG. 1 schematically illustrates some aspects of an automated changeaudit system, in accordance with various embodiments of this invention;

FIG. 2 schematically illustrates some aspects of an enrichmentoperation, in accordance with various embodiments of this invention;

FIG. 3 schematically illustrates some aspects of an authorizedreconciliation operation, in accordance with various embodiments of thisinvention;

FIG. 4 schematically illustrates some aspects of an intendedreconciliation operation, in accordance with various embodiments of thisinvention;

FIG. 5 schematically illustrates some aspects of a conformingreconciliation operation, in accordance with various embodiments of thisinvention; and

FIG. 6 schematically illustrates an example computer system suitable foruse in association with a change audit method, in accordance withvarious embodiments of this invention.

DETAILED DESCRIPTION OF EMBODIMENTS OF THE INVENTION

In the following detailed description, reference is made to theaccompanying drawings which form a part hereof wherein like numeralsdesignate like parts throughout, and in which is shown by way ofillustration embodiments in which the invention may be practiced. It isto be understood that other embodiments may be utilized and structuralor logical changes may be made without departing from the scope of thepresent invention. Therefore, the following detailed description is notto be taken in a limiting sense, and the scope of embodiments inaccordance with the present invention is defined by the appended claimsand their equivalents.

Various operations may be described as multiple discrete operations inturn, in a manner that may be helpful in understanding embodiments ofthe present invention; however, the order of description should not beconstrued to imply that these operations are order dependent.

The description may use perspective-based descriptions such as up/down,back/front, and top/bottom. Such descriptions are merely used tofacilitate the discussion and are not intended to restrict theapplication of embodiments of the present invention.

For the purposes of the present invention, the phrase “A/B” means A orB. For the purposes of the present invention, the phrase “A and/or B”means “(A), (B), or (A and B)”. For the purposes of the presentinvention, the phrase “at least one of A, B, and C” means “(A), (B),(C), (A and B), (A and C), (B and C), or (A, B and C)”. For the purposesof the present invention, the phrase “(A)B” means “(B) or (AB)” that is,A is an optional element.

The description may use the phrases “in an embodiment,” or “inembodiments,” which may each refer to one or more of the same ordifferent embodiments. Furthermore, the terms “comprising,” “including,”“having,” and the like, as used with respect to embodiments of thepresent invention, are synonymous.

Embodiments of the present invention provide an automated changeauditing system. Embodiments of the present invention provide a triad ofcontrols: preventive, detective, and corrective. Preventive controlsinclude controls that define the roles and responsibilities, processes,and policies intended to manage change management risks. Detectivecontrols include controls that automatically track and reconcileproduction changes, and detect when preventive control fails. Correctivecontrols include controls that provide recovery mechanisms to mitigatethe impact of failed changes. Embodiments of the invention allow thethree controls may be independently exercised. Further, verifiableevidence is provided proving that not only each control exists, but thecontrols are effective against the identified risks.

Embodiments of the present invention include, but are not limited to,independent detecting of changes regardless of source or content,reconciling detected changes with intended and authorized changes, andindependent reporting of all change activity across production systems.In various embodiments, the method may include facilitating homogeneousmonitoring of a plurality of heterogeneous data processing nodes of thedata processing environment, the homogeneous monitoring includingfacilitating detecting one or more changes of one or more elements ofthe plurality of heterogeneous data processing nodes. In variousembodiments, the method may further include facilitating performing oneor more actions in response to detecting the one or more changes. Otherembodiments of the present invention may include, but are not limitedto, apparatuses and systems adapted to facilitate practice of theabove-described method. While portions of the following discussion maybe primarily presented in the context of specific types of dataprocessing devices, it is understood that the principles describedherein apply to a broad range of data processing devices.

Various embodiments of the present invention include a scalablearchitecture to facilitate a change audit method in data processingenvironments containing data processing devices. Such data processingdevices may include, but are not limited to, networking devices,servers, desktop computers, laptop computers, tablet computers, personaldigital assistants, cellular phones, set top boxes, media players, orother types of data processing devices. In some embodiments, a dataprocessing environment may comprise a continuously or intermittentlyconnected environment of data processing devices, including dataprocessing devices communicating through the Internet. In someembodiments, a data processing environment may comprise a directly orindirectly connected environment of data processing devices, includingdata processing devices communicating through the Internet. In variousembodiments, one or more modules may facilitate the operations describedherein.

FIG. 1 illustrates some aspects of a change audit system 100, inaccordance with various embodiments of this invention. In variousembodiments, change audit system 100 may include one or more of thefollowing: changes monitoring/detection operation 102, data warehouse104, enrichment operation 108, actions operation 106, baseline operation110, alerts/reporting operation 112, reconciliation operation 114,authorized reconciliation operation 116, intended reconciliationoperation 118, and/or conforms reconciliation operation 120. In variousembodiments, change audit system 100 may include other operations. Whilecertain operations are illustrated in FIG. 1, other operations maysupplement or supplant the operations shown, in the context of variousembodiments. In various embodiments, change audit system 100 may operatein the context of a data processing environment comprising one or moredata processing devices. In various embodiments, these data processingdevices may comprise a wide range of data processing devices, such as,but not limited to, a networking device (a router, a switch, a gateway,or the like), a server, a desktop computer, a laptop computer, a tabletcomputer, a personal data assistant, a cellular phone, a set top box, amedia player, or the like. In various embodiments, portions or all ofchange audit system 100 may be referred to as a change audit apparatus.

In various embodiments, change audit system 100 may include changesmonitoring/detecting operation 102. In various embodiments, changesmonitoring/detecting operation 102 may facilitate independenthomogeneous monitoring of a plurality of heterogeneous data processingnodes (not shown) of a data processing environment, with the homogeneousmonitoring including facilitating detecting one or more changes of oneor more elements of the plurality of heterogeneous data processingnodes, including but not limited to a far flung mix of servers, routers,firewalls, databases etc. In various embodiments, changesmonitoring/detecting operation 102 may facilitate performing one or moreactions in response to detecting the one or more changes. In variousembodiments, the one or more actions may be termed one or moreresponses.

In other words, monitoring/detecting operation 102 is segregated fromthe persons or technologies making the changes. Operation 102 detectschanges regardless who made the change or why the change was made. Itcaptures automated and manual changes, authorized and intended changes,as well as the occasional unauthorized, unintended, or potentiallymalicious change, in sufficient detail to determine the date, time,implementer, system, and the details of changes made.

In various embodiments, the facilitating detecting one or more changesmay comprise facilitating taking snapshots of states of one or moreelements of the plurality of heterogeneous data processing nodes. Invarious embodiments, at least some of the snapshots may be stored indata warehouse 104. In various embodiments, one or more versions of theone or more elements may be stored in data warehouse 104. In variousembodiments, memorializations of changes of the one or more elements maybe stored in data warehouse 104. In various embodiments, other items maybe stored in data warehouse 104. In various embodiments, data warehouse104 may comprise any type of data store or data storage place.

In various embodiments, change audit system 100 may include enrichmentoperation 108. In various embodiments, enrichment operation 108 mayinclude facilitating correlating one of the one or more changes to oneor more events associated with an element, and may further includereporting the detected change for the element, supplemented with one ormore of the correlated events of the element. In various embodiments, anelement may comprise, for example, a file of a data processing device.In various embodiments, an element may comprise another component of adata processing device. In various embodiments, an element may comprisedata itself. In various embodiments, enrichment operation 108 mayinvolve enriching at least some of the data stored in data warehouse 104with events from a wide range of sources (not shown), such as, but notlimited to, event or audit logs, a package manager, an installationengine of programs, etc.

In various embodiments, changes monitoring/detecting operation's 102facilitating homogeneous monitoring of the plurality of heterogeneousdata processing nodes may comprise defining a first logical grouping ofone or more data processing nodes to be monitored, with the one or moredata processing nodes corresponding to one or more data processingnode-types. In various embodiments, changes monitoring/detectingoperation's 102 facilitating homogeneous monitoring may further comprisedefining a second logical grouping of one or more rules to be assertedagainst at least a subset of the first logical grouping of dataprocessing nodes, with each of the one or more rules identifyingcriteria for detecting an operational state change of one or more dataprocessing nodes. In various embodiments, changes monitoring/detectingoperation's 102 facilitating homogeneous monitoring may further comprisegenerating one or more monitoring tasks, with each of the monitoringtasks defining which ones of the second logical grouping of rules toassert against which ones of the first logical grouping of one or moredata processing nodes.

In various embodiments, change audit system 100 may include actionsoperation 106. In various embodiments, actions operation 106 may includeone or more actions, such as, for example, reconciliation operation 114,alerts/reporting operation 112, and baseline operation 110.

In various embodiments, alerts/reporting operation 112 may includeindependent alerting/reporting a detected change. Independentalerting/reporting may provides IT management and auditors proof ofsystems and process integrity by generating an independent accounting ofactual changes across the breadth of the infrastructure, reconciled withauthorized and intended changes. The alerts/reports may offer ongoingproof that effective change controls are in place, as well as providedecision support tools for problem management.

Alerting/reporting a detected change may take many forms, according tovarious embodiments, including but not limited to, creating a helpdeskincident, alerting with a severity state indicator of the change in aGUI, notifying a user (for example, a system administrator) of thedetected change, reverting the element (or a portion of the element)back to its baseline state, etc. In various embodiments,alerts/reporting operation 112 may include facilitating a user to modifythe element at issue. In various embodiments, alerts/reporting operation112 may include other sub-operations. In various embodiments,alerts/reporting operation 112 may operate in conjunction with one ormore of the reconciliation operations of: authorized operation 116,intended operation 118, and/or conforms operation 120. In variousembodiments, alerts/reporting operation 112 may operate in conjunctionwith additional and/or alternative reconciliation operations.

In various embodiments, reconciliation operation 114 determines whetherchanges are authorized and intended, and independently validates thechanges occurred as planned. Reconciliation operation 114 furtherfilters out to uncover any undesired changes. In the event a changecan't be correlated back to change approval or release managementprocesses, reconciliation operation 114 assumes preventive controls havebeen comprised and corrective controls must be triggered.

In various embodiments, reconciliation operation 114 may comprisedetermining whether at least one of the one or more detected changes wasauthorized via authorized operation 116. In various embodiments,authorized operation 116 may include learning of a submission of arequest, in digital form, to make a modification. In variousembodiments, authorized operation 116 may further include determiningwhether to allow the requested modification to be scheduled or assignedfor implementation, in response to learning of the submission of therequest. In various embodiments, authorized operation 116 may furtherinclude conditionally indicating allowance of the requestedmodification, based at least in part on the result of the determiningwhether to allow the requested modification to be scheduled or assignedfor implementation. In various embodiments, authorized operation 116 mayoperate in the context of determining whether a detected change isassociated with a work ticket, a maintenance window, or the like. Invarious embodiments, authorized operation 116 may operate in the contextof determining whether a detected change was “planned” or “unplanned.”

In various embodiments, reconciliation operation 114 may comprisedetermining whether at least one of the one or more detected changes wasintended via intended operation 118. In various embodiments, intendedoperation 118 may include facilitating creation in digital form of afirst memorialization of at least one of the one or more changes. Invarious embodiments, intended operation 118 may further includefacilitating comparison of the first memorialization to a secondmemorialization of one or more in-band changes that should have beenmade to facilitate detection of one or more out-of-band changes. Invarious embodiments, intended operation 118 may be performed in thecontext of reconciling a detected change with changes made by a changeagent (not shown), or changes in-band to such a change agent. In variousembodiments, such a change agent may include, but not be limited to, aconfiguration management tool. In various embodiments, intendedoperation 118 may operate in the context of determining whether adetected change is “known” or “unknown.”

In various embodiments, reconciliation operation 114 may comprisedetermining whether at least one of the one or more detected changes wasconforming via conforms operation 120. In various embodiments, conformsoperation 120 may include determining whether at least one of the one ormore changes conforms with a conformance authority, with the conformanceauthority having one or more guidelines. In various embodiments, theconformance authority may include, but not be limited to, a policy-basedmanagement tool. In various embodiments, conforms operation 120 mayoperate in the context of determining whether a detected change was“desirable” or “undesirable.”

In various embodiments, a change audit method may be performed tomaintain or demonstrate control of an enterprise's informationtechnology (IT) infrastructure, for the purpose of maintaining ordemonstrating control of an enterprise's financial systems or data. Invarious embodiments, a change audit method may be performed to maintainor demonstrate control of an enterprise's business processes, such as,for example, enterprise resource planning (ERP) or customer relationshipmanagement (CRM), and/or the integrity of its data, e.g. business,design, engineering, personnel and/or customer confidential data.Customer confidential data may include credit card and other financialdata, patient records, and so forth. In various embodiments, a changeaudit method may be performed to facilitate compliance with governmentallaws/regulations regarding establishment and maintenance of an internalcontrol structure and/or procedures for financial reporting, such as,for example, the Sarbanes-Oxley Act (the Public Company AccountingReform and Investor Protection Act), including any amendments and/orsuccessor Acts to any part of the Sarbanes-Oxley Act, or the like.

In various embodiments, a change audit method may be performed tofacilitate compliance with a number of laws, regulations, or guidelines,including but not limited to, the Gramm Leach Bliley Act (GLBA), theregulations of Food and Drug Administration 21 Code of FederalRegulations 11, the Health Insurance Portability & Accountability Act,the Visa Cardholder Information Security Plan, the Payment Card Industry(PCI) Data Security Standard, the National Credit Union AdministrationGuidelines, the Office of the Comptroller of the Currency Guidelines,the International Organization for Standardization 17799, CommonCriteria Certification, California Civil Code Senate Bill 1386(California Security Breach Information Act), or the like, including anyamendments and/or successors to any of the above, or the like.

In various embodiments, a change audit method may be performed as partof an audit of an enterprise, including but not limited to, a financialaccounting or statement audit. In some such embodiments, a change auditmethod may be performed to at least provide an audit trail for saidaudit.

In various embodiments where a change audit method is performed tomaintain or demonstrate control of an enterprise's informationtechnology infrastructure, financial systems or data, or businessprocesses, use of a change audit method may occur in a number of areas,including but not limited to, access control, network security, auditingand monitoring of security-related events, or the like. In variousembodiments where a change audit method is performed to maintain ordemonstrate control of an enterprise's information technologyinfrastructure, financial systems or data, or business processes, saidmaintenance or demonstration of control may include other aspects of anenterprise's information technology infrastructure, financial systems ordata, or business processes, respectively.

In various embodiments where a change audit method is performed as partof an audit of an enterprise, or to facilitate compliance withgovernmental laws/regulations, use of a change audit method may occur ina number of areas, including but not limited to, access control, networksecurity, auditing and monitoring of security-related events, or thelike. In various other embodiments, where a change audit method isperformed as part of an audit of an enterprise, or to facilitatecompliance with governmental laws/regulations, use of a change auditmethod may include other aspects of an enterprise audit or regulatorycompliance procedures, respectively.

FIG. 2 illustrates some aspects of an enrichment operation 200, inaccordance with various embodiments of this invention. Illustrating aportion of a possible operational context in some embodiments, changedetection agent 206 may facilitate detecting of a change to an element(not shown) of data processing device 202 of a data processingenvironment. In various embodiments, an element may comprise, forexample, a file of data processing device 202. In various embodiments,an element may comprise another component of data processing device 202.In various embodiments, change detection agent 206 may detect a changein an element and may memorialize the change detected in changememorialization 208. In various embodiments, change memorialization 208may comprise a memorialization of one or more changes detected in one ormore elements of data processing device 202.

In various embodiments, change memorialization 208 may comprise a file.In various embodiments, change memorialization 208 may comprise adifferent type of memorialization of a change detected. In variousembodiments, change detection agent 206 may facilitate detecting achange by facilitating taking a snapshot of a current state (not shown)of an element of data processing device 202, and may further compare thesnapshot to a previously taken snapshot (not shown) of the element. Invarious embodiments, change detection agent 206 may facilitate taking asnapshot of a current state of an element of data processing device 202in the course of facilitating taking a snapshot of a set of elements ofdata processing device 202.

In some embodiments, the previously taken snapshot may include abaseline state of the element, with FIG. 2 illustrating some suchembodiments with baseline memorialization 210 including a baseline stateof the element. In some embodiments, the previously taken snapshot mayrepresent a state other than a current baseline state. In someembodiments, change detection agent 206 may facilitate obtaining thepreviously taken snapshot of the element. In some embodiments, thepreviously taken snapshot of the element may be obtained in anothermanner.

Illustrating a portion of a possible operational context in variousembodiments, event log 204 may comprise a number of logged occurrencesof events or simply logged events associated with elements of dataprocessing device 202. For example, in the case of a file comprising onetype of element, all occurred events, or a subset of the occurredevents, associated with the file may be recorded in event log 204, inaccordance with some embodiments. In various embodiments, examples ofsuch logged events may comprise when the file is accessed, modified,etc. As data processing device 202 may represent a broad range ofdevices, event log 204 may correspondingly represent a broad range ofevent logs and their accompanying constituents, and may involve, forexample, TACACS (Terminal Access Controller Access Control System),XTACACS (Extended TACACS), TACACS+, RADIUS (Remote AuthenticationDial-In User Service), Diameter, any AAA (Authentication, Authorizationand Accounting) protocol, LDAP (Lightweight Directory Access Protocol),and the like, including modifications, successors, and the like. Eventlogs may be referred to in a wide variety of ways, including audit logs,audit event logs, file audit logs, auto-logs, etc., with the term“audit” being used in a narrower context than used elsewhere herein indescribing an audit of an enterprise, which may involve an examinationand review of an enterprise's internal controls, information technologyinfrastructure, financial systems or data, business processes, financialaccounting or reporting, etc.

In various embodiments, event log 204 may comprise a memorialization ofone event or multiple events. In various embodiments, event log 204 maycomprise a memorialization of one type of event, or multiple types ofevents. In various embodiments, event log 204 may comprise a runningmemorialization of events. In various embodiments, event log 204 maycomprise events logged of one or more elements of data processing device202. In various embodiments, event log 204 may reside on data processingdevice 202. In various other embodiments, event log 204 may resideelsewhere in data processing environment 200.

In various embodiments with one event log for data processing device202, the event log may be created and/or updated by software of dataprocessing device 202. In some such embodiments, the software maycomprise an operating system (OS), or its equivalent, of data processingdevice 202, while in other such embodiments, the software may comprisesoftware other than an OS, or its equivalent, of data processing device202. In some embodiments with multiple event logs for data processingdevice 202, at least one of the event logs may be created and/or updatedby software of data processing device 202. In some such embodiments, thesoftware may comprise an OS, or its equivalent, of data processingdevice 202, while in other such embodiments, the software may comprisesoftware other than an OS, or its equivalent, of data processing device202.

In accordance with various embodiments, change detection agent 206 maybe used to monitor the configuration, applications and underlying OS ofsecurity software and devices in order to detect and report change. Insuch embodiments, change detection agent 206 may provide independentvalidation that security applications and their configurations have notbeen compromised or changed without authorization.

Illustrating a portion of a possible operational context in variousembodiments, change detection agent 206 may facilitate correlating thechange to one or more events associated with the element. In variousembodiments, change detection agent 206 may further report the detectedchange for the element, supplemented with one or more of the correlatedevents of the element. In some embodiments, the facilitating correlatingmay comprise retrieving the one or more events associated with theelement from a repository of events of the data processing environment.In some embodiments, the repository of events may comprise event log204. In some embodiments, the repository of events may comprise anotherdata storage area of the data processing environment. In variousembodiments, enrichment operation 200 may involve enriching at leastsome of the data stored in data warehouse 212 with events from a widerange of sources (not shown), such as, but not limited to, event oraudit logs, a package manager, an installation engine of programs, etc.

In accordance with various embodiments of the present invention, changedetection agent 206 provides independent change detection to therebycapture automated and manual changes, authorized and intended changes,as well as the occasional unauthorized, unintended, or potentiallymalicious change, in sufficient detail to determine the location, date,time, implementer, system, and the details of the change made. Changedetection agent 206, in accordance with various embodiments, may ensureall authorized and/or intended changes are tracked and thus, verify thatthey were successfully made. Thus, change detection system 206 checks tosee if what is being monitored has changed on servers and networkdevices and compares any detected changes of state with a baseline ordesired state.

Additionally, in accordance with various embodiments of the presentinvention, change detection agent 206 may detect changes within dataand/or data files. Change detection agent 206, in accordance withvarious embodiments, may be used to verify that records, documents,files, etc. have not been changed, altered or even deleted with respectto previous versions of records, documents, files, etc.

FIG. 3 illustrates some aspects of an authorized reconciliationoperation 300, in accordance with various embodiments of this invention.While certain operations are illustrated in FIG. 3, other operations maysupplement or supplant the operations shown, in the context of variousembodiments. Authorized reconciliation operation 300 may itself includevarious operations, such as some or all of the operations illustrated inFIG. 3. Authorized reconciliation operation 300 illustrates an exemplarychange management process that may be practiced to manage changes toclient devices of a data processing environment, in accordance withvarious embodiments. As illustrated, Change Requests 302 for requestingchanges to hardware, software and/or data of various client devices maybe submitted, for example, by various end users and/or IT administratorsof a data processing environment. In various embodiments, ChangeRequests 302, having identification information identifying the elementsto be changed, the changes to be applied, and/or dependency of thechanges, may be stored in change request queues (not shown).

Further, as illustrated, Automated Change Request Checking 304 on thequeued pending change requests may be performed periodically (orcontinuously) to approve or reject the requested changes. In variousembodiments, change management services (not shown) may check thepreviously approved change requests in change request implementationqueues (not shown) to determine whether all dependencies of each queuedchange request have been implemented (i.e., there is no changeimplementation pending for any identified change dependency of thechange request).

For the illustrated embodiments, the change management services mayreject all change requests having dependency on pending changeimplementations. The change management services may approve only changerequests with no dependency on pending change implementations,illustrated as Change Requests Approved 306. In various embodiments,approved change requests may be moved from the change requests queues tothe change request implementation queues for implementation schedulingand/or assignment to implementers.

In due course, the approved change requests may be implemented by theassigned implementer(s) at or about the scheduled time, 308. In variousembodiments, on notification of implementation of a change request, anautomated change reporting 310 may be performed by the change managementservices, resulting in Change Reports 312.

In various embodiments, the change management services may generateChange Reports 312 by comparing the current state of the applicableclient device with its previously saved reference state. In variousembodiments, Change Reports 312 may include a number of change recordsdescribing the various changes to the hardware, software, attributes,and/or data elements of the applicable client device, including, forexample, the number of changes, dates, times, actions, operators,permissions, etc.

In various embodiments, Change Reports 312 may be subjected to Reviewand Approve Changes Reported 314 process. In various embodiments, such areview and approval process may be performed manually, or automated, infull or in part.

In various embodiments, on approval of the changes enumerated in aChange Reports 312 for a client device, the change management servicesmay automatically generate and save the changes (Automated ReferenceStates Update 316) in a new reference state for the applicable clientdevice.

FIG. 4 illustrates some aspects of an intended reconciliation operation400, in accordance with various embodiments of this invention. Whilecertain operations are illustrated in FIG. 4, other operations maysupplement or supplant the operations shown, in the context of variousembodiments. Intended reconciliation operation 400 may itself includevarious operations, including operation, Perform Change Detection 402,where a change detection agent may perform one or more change detectionoperations to a data processing device. Perform Change Detection 402 maybe followed by an operation determining whether changes were detected asa result of performing the one or more change detection operations,denoted as, Changes Detected? 404.

If operation 404 is determined in the affirmative, then operation,Reconcilable with Memorialization? 406, may follow in some embodiments.If operation 404 is determined in the negative, then operation, PerformChange Detection 402, may follow in some embodiments, eitherimmediately, after a delay, at a future scheduled time, etc. In variousother embodiments, operation 404 being determined in the negative may befollowed by another operation (not shown) or may comprise an endpoint,either temporary or otherwise.

If Reconcilable with Memorialization? 406 is determined in theaffirmative, then designation, IN-BAND 408, may follow in someembodiments. If operation 406 is determined in the negative, thendesignation, OUT-OF-BAND 410, may follow in some embodiments. In variousother embodiments, operation 406 being determined in either the negativeor the positive may be followed by various other operations (not shown).The sophistication of operation 406 may vary widely, depending on theimplementation and the information available to make the reconciliation.The designation of IN-BAND 408 may be followed by various operations,including but not limited to, elevating the detected change(s) to abaseline state of the data processing device in issue. The designationof OUT-OF-BAND 410 may be followed by various operations, including butnot limited to, alerting such a designation of a detected change.

FIG. 5 illustrates some aspects of a conforming reconciliation operation500, in accordance with various embodiments of this invention. Whilecertain operations are illustrated in FIG. 5, other operations maysupplement or supplant the operations shown, in the context of variousembodiments. Conforming reconciliation operation 500 may itself includevarious operations, including operation, Perform Change Detection 502,where a change detection agent may perform one or more change detectionoperations to a data processing device. Perform Change Detection 502 maybe followed by an operation determining whether changes were detected asa result of performing the one or more change detection operations,denoted as Changes Detected? 504. In various embodiments, some changedetection agents that perform operation, Changes Detected? 504, mayadditionally or alternatively include other operations.

If operation 504 is determined in the affirmative, then operation,Reconcilable with Conformance Authority? 506, may follow in someembodiments. If operation 504 is determined in the negative, thenoperation, Perform Change Detection 502, may follow in some embodiments,either immediately, after a delay, at a future scheduled time, etc. Invarious other embodiments, operation 504 being determined in thenegative may be followed by another operation (not shown) or maycomprise an endpoint, either temporary or otherwise.

If Reconcilable with Conformance Authority? 506 is determined in theaffirmative, then operation Baseline 508, may follow in variousembodiments. In various embodiments, Baseline 508 may include changing abaseline of an element of a data processing device to incorporate thechange or changes detected in operation 504. Thus, in variousembodiments a detected change may be deemed to be authorized and asystem administrator may accept the change(s) and alter the baselineaccordingly. In various embodiments, Baseline 508 may include additionalor alternative sub-operations. In various embodiments, a baseline of anelement may include a full version of the element. In variousembodiments, a baseline of an element may include a text version of theelement. In one such embodiment in the case where the element is a file,the baseline of the file may include a text version of the file. Invarious other embodiments, a baseline of an element may additionally oralternatively include other things, including but not limited to,attributes of the element.

In various embodiments, one or more additional operations other thanBaseline 508 may follow an affirmative determination of Reconcilablewith Conformance Authority? 506. In various embodiments, operation 506being determined in the affirmative may be followed by modifying aseverity state of the detected change (not shown), such as decreasingit. In various embodiments, operation 506 being determined in theaffirmative may be followed by automatic approval of the detectedchange(s) without modification to the baseline state. In some otherembodiments, no response may follow an affirmative determination ofReconcilable with Conformance Authority? 506.

If Reconcilable with Conformance Authority? 506 is determined in thenegative, then operation, Alert 510, may follow in various embodiments.In various embodiments, Alert 510 may include alerting thenonconformance of a detected change. Alerting the nonconformance of adetected change may take many forms, according to various embodiments,including but not limited to, creating a helpdesk incident, alertingwith a severity state indicator of the change in a GUI, notifying a user(for example, a system administrator) of the nonconforming change,reverting the element (or a portion of the element) back to its baselinestate, etc. In various embodiments, operation 506 being determined inthe negative may be followed by modifying a severity state of the changedetected, such as increasing it. In various embodiments, Alert 510 mayinclude facilitating a user to modify the element at issue to conform toat least one of the one or more guidelines of a conformance authority.In some embodiments, such facilitation may include reporting the one ormore guidelines that were violated by the detected change. In variousembodiments, such facilitation may include other sub-operations.

In various other embodiments, operation 506 being determined in thenegative may be followed by various other operations. The sophisticationof operation 506 may vary widely, depending on the implementation andthe information available to make the reconciliation. In variousembodiments, a further operation of determining one or more usersassociated with the detected change may be included. In variousembodiments, Alert 510 may include the one or more users associated withthe detected change. In some embodiments, the one or more usersassociated with the detected change may be the user(s) determined tohave caused the change.

In accordance with various embodiments of the present invention,operation 506 being determined in the negative may result inautomatically returning the element to a previous state or even, abaseline or desired state. Change detection agent 206 may verify thatsuch a change has been made.

FIG. 6 illustrates an example computer system suitable for use inassociation with a change audit method, in accordance with variousembodiments of this invention. As shown, computer system 600 may includeone or more processors 602 and may include system memory 604.Additionally, computer system 600 may include mass storage 606 in theform of one or more devices (such as diskette, hard drive, compact disk(CD), flash memory, and so forth), input/output devices 608 (such askeyboard, cursor control and so forth) and communication interfaces 610(such as network interface cards, modems and so forth). The elements maybe coupled to each other via system bus 612, which may represent one ormore buses. In the case where system bus 612 represents multiple buses,the multiple buses may be bridged by one or more bus bridges (notshown).

These elements each perform their conventional functions known in theart. In various embodiments, communication interfaces 610 may facilitatecoupling of computing system 600 to a network, though which computingsystem 600 may be coupled to one or more data processing devices of adata processing environment and so forth, as necessary. In variousembodiments, computing system 600 may at least be partially incorporatedin such a data processing device. System memory 604 and mass storage 606may be employed to store a working copy and a permanent copy of theprogramming instructions, illustrated as Change Audit Instructions 614and 616, respectively, implementing various aspects of the one or moreearlier described embodiments of the present invention. The permanentcopy of the programming instructions may be loaded into mass storage 606in the factory or in the field, through a distribution medium (notshown), or through communication interface 610 from, for example, adistribution server (not shown). The constitution of these elements602-612 are known, and accordingly will not be further described. Inalternate embodiments, part or all of the one or more modules may beimplemented in hardware, for example, using one or more ApplicationSpecific Integrated Circuits (ASICs) instead.

Although certain embodiments have been illustrated and described hereinfor purposes of description of the preferred embodiment, it will beappreciated by those of ordinary skill in the art that a wide variety ofalternate and/or equivalent embodiments or implementations calculated toachieve the same purposes may be substituted for the embodiments shownand described without departing from the scope of the present invention.Those with skill in the art will readily appreciate that embodiments inaccordance with the present invention may be implemented in a very widevariety of ways. This application is intended to cover any adaptationsor variations of the embodiments discussed herein. Therefore, it ismanifestly intended that embodiments in accordance with the presentinvention be limited only by the claims and the equivalents thereof.

1.-14. (canceled)
 15. A method for performing preventative, detective,and corrective control of an information technology (IT) infrastructure,comprising: detecting a change of state in at least one of a pluralityof data processing devices in the information technology (IT)infrastructure, wherein the detecting is performed by comparing abaseline state for the at least one of the plurality of data processingdevices to a current state of the at least one of the plurality of dataprocessing devices and wherein the detecting is performed withoutknowledge of a source of the change of state; after the detecting,reconciling the detected change of state as an authorized and plannedchange of state by determining whether the change of state is associatedwith a work ticket or maintenance window for the at least one of theplurality of data processing devices; and if the detected change ofstate is not an authorized and planned change of state, generating anotification to a system administrator reporting the detected change ofstate.
 16. The method of claim 15, further comprising, if the change ofstate is an authorized and planned change of state, updating thebaseline state for the at least one of a plurality of data processingdevices to the current state.
 17. The method of claim 15, wherein thereconciling further comprises determining whether the detected change ofstate is conforming to a regulatory or security standard.
 18. The methodof claim 17, wherein the reconciling further comprises changing thebaseline state for the at least one data processing device only if thedetected change of state is conforming to the regulatory or securitystandard.
 19. The method of claim 17, wherein the reconciling furthercomprises determining at least one of a level of severity ornon-conformance for the detected change of state, if the detected changeof state is not conforming.
 20. The method of claim 15, furthercomprising memorializing a detected change of state of the at least oneof a plurality of data processing device by logging one or events in anevent log.
 21. The method of claim 15, wherein the method furthercomprises generating a change report for changes detected in theinformation technology (IT) infrastructure, including the change at thedata processing node, the change report including one or more of anidentification of one or more of a number of changes detected, dates ofthe changes detected, times of the changes detected, operatorsassociated with the changes detected, or permissions related to theoperators associated with the changes detected.
 22. One or morenon-transitory computer medium storing computer-executable instructionswhich when executed by a computer cause the computer to perform amethod, the method comprising: detecting a change of state in at leastone of a plurality of data processing devices the information technology(IT) infrastructure, wherein the detecting is performed by comparing abaseline state for the at least one of the plurality of data processingdevices to a current state of the at least one of the plurality of dataprocessing devices and wherein the detecting is performed withoutknowledge of a source of the change of state; after the detecting,reconciling the detected change of state as an authorized and plannedchange of state by determining whether the change of state is associatedwith a work ticket or maintenance window for the at least one of theplurality of data processing devices; and if the detected change ofstate is not an authorized and planned change of state, generating anotification to a system administrator reporting the detected change ofstate.
 23. The one or more non-transitory computer medium of claim 22,wherein the method further comprises, if the change of state is anauthorized and planned change of state, updating the baseline state forthe at least one of a plurality of data processing devices to thecurrent state.
 24. The one or more non-transitory computer medium ofclaim 22, wherein the reconciling further comprises determining whetherthe detected change of state is conforming to a regulatory or securitystandard.
 25. The one or more non-transitory computer medium of claim24, wherein the reconciling further comprises changing the baselinestate for the at least one data processing device only if the detectedchange of state is conforming to the regulatory or security standard.26. The one or more non-transitory computer medium of claim 24, whereinthe reconciling further comprises determining at least one of a level ofseverity or non-conformance for the detected change of state, if thedetected change of state is not conforming.
 27. The one or morenon-transitory computer medium of claim 22, the method furthercomprising memorializing a detected change of state of the at least oneof a plurality of data processing device by logging one or events in anevent log.
 28. The one or more non-transitory computer medium of claim22, wherein the method further comprises generating a change report forchanges detected in the information technology (IT) infrastructure,including the change at the data processing node, the change reportincluding one or more of an identification of one or more of a number ofchanges detected, dates of the changes detected, times of the changesdetected, operators associated with the changes detected, or permissionsrelated to the operators associated with the changes detected.